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Compliance Associate - Investment Management

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MW Recruitment 60000.00 British Pound . GBP Per annum

2021-12-03 12:35:18

Job location Barkingside, Greater London, United Kingdom

Job type: fulltime

Job industry: Legal

Job description

Main Duties

Maintain all logs including financial promotion, breaches & errors

Assist in the delivery of new starter inductions and staff training

Conduct Compliance Monitoring including periodic tests of the effectiveness of policies and controls

Regulatory returns in Connect and RegData for the group's regulated entities

Review KYC and DD documentation/daily screening of AML alerts

Review of financial promotion and marketing material

Prepare and submit relevant applications and reports to the FCA

Experience/Skills

No less than 3-5 years in a generalist compliance role.

A genuine interest in compliance and the investment industry

Knowledge of AIFMD and MiFID

Ability to handle a varied workload and work within prescribed timeline

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